Form 4 for UPXI UPEXI, INC.
Accepted 2025-04-25 00:00:00 ET · period of report 2025-03-12 · accession 0001477932-25-002981 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2025-04-25 | 2025-04-17 | UPXI | MARSHALL ALLAN | CEO, Dir, 10% | A - Grant | $0.00 | +75.0K | 884.3K | +9% | $0 |
| D | 2025-04-25 | 2025-04-17 | UPXI | MARSHALL ALLAN | CEO, Dir, 10% | P - Purchase | $2.28 | +657.9K | 809.3K | +434% | +$1.50M |
| D | 2025-04-25 | 2025-03-12 | UPXI | MARSHALL ALLAN | CEO, Dir, 10% | P - Purchase | $2.60 | +125.0K | 125.0K | New | +$325.0K |
| D | 2025-04-25 | 2025-04-17 | UPXI | MARSHALL ALLAN | CEO, Dir, 10% | A - Grant | $0.00 | +500.0K | 500.0K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2025-04-17 | A | A | 75,000 | $0.00 | 884,318 | D | — | — | |
| 2 | Common | Common Stock | 2025-04-17 | P | A | 657,895 | $2.28 | 809,318 | D | — | — | (F1) The Reporting Person purchased these shares in a PIPE offering conducted by the Issuer. The shares are restricted securities subject to transfer restrictions under Rule 144 of the Securities Act until such time that they are registered pursuant to a registration statement or become eligible for resale otherwise. |
| 3 | Derivative | Convertible Preferred Stock | 2025-03-12 | P | A | 125,000 | $2.60 | 125,000 | D | $2.60 · — to — | 125,000 Common Stock | (F3) These Shares are convertible to Common Stock immediately. (F4) The Preferred Stock is perpetual and therefore has no expiration date. |
| 4 | Derivative | Warrants to purchase Common Stock | 2025-04-17 | A | A | 500,000 | $0.00 | 500,000 | D | $2.28 · — to 2030-04-17 | 500,000 Common Stock | (F5) The warrants were awarded to the Reporting Person as compensation pursuant to his employment agreement. The warrants and the underlying shares are restricted securities subject to Rule 144 of the Securities Act. The warrants are exercisable immediately until their expiration date. |